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Judicial conclusion definition, and how to receive accomplishment credit

Judicial Conclusion Definition

            A judicial settlement or order addressing the complaint partially or in full that is entered with the court and signed by a judge or a written ruling or decision by a judge after a full trial.           

 

Consent Decree or Court Order Resolving a Civil Judicial Action Conclusion Definition

            A CD, Judgement, Judicial Settlement, Bankruptcy Settlement, or Court Order that addresses the complaint partially or in full.

 

Information entered into ICIS at this stage should be supported by one of the following source documents:

            –          Consent Decree;

            –          Judgement;

            –          Court Order; or

            –          Judicial or Bankruptcy Settlement that is entered with the court and signed by a    judge.

 

To receive accomplishment credit for a judicial conclusion:

•           a judicial enforcement action (i.e., referral) record must be entered with all information required by ICIS and mandatory by OECA for accomplishment credit;

•           the date the Complaint or the Proof of Claim is filed with the court must be entered as the ‘actual date’ for the ‘Complaint Filed With Court’ sub activity;

•           an enforcement action conclusion (i.e., settlement) record must be entered with all information required by ICIS and mandatory by OECA for accomplishment credit;

•           ‘Consent Decree or Court Order Resolving a Civil Judicial Action’ must be selected in the Action Type field;

•           the date the judicial settlement is lodged with DOJ must be entered in the Date Settlement Lodged field;

•           the date the judicial settlement is entered with the court and signed by a judge must be entered in the Date Settlement Entered field; and

•           all pertinent settlement data must be entered:

•           If the settlement contains provisions for penalty, the value and type of penalty must be entered on the Penalty/Cost Recovery side menu screen to receive accomplishment credit.  The information entered in the penalty fields should be supported by one of the following source documents:

            –          Consent Decree;

            –          Judgement;

            –          Court Order; or

            –          Judicial or Bankruptcy Settlement that is entered with the court and signed by a judge. And/or

•           If the settlement contains provisions for recovery of past or future response costs, the value and type of cost recovery must be entered on   the Penalty/Cost Recovery side menu screen to receive accomplishment credit.  The information entered in the cost recovery fields should be supported by one of the following source documents:

            –          Consent Decree;

            –          Judgement;

            –          Court Order; or

            –          Judicial or Bankruptcy Settlement that is entered with the court and signed by a judge.  And/or

•           If the settlement contains provisions for a SEP, the SEP description, category, value, and pollutant information must be entered on the SEP side menu screen to receive accomplishment credit.  The information entered on the SEP side menu screen should be supported by one of the following source documents:

            –          Consent Decree;

            –          Judgement;                                                     

            –          Court Order; or

            –          Judicial or Bankruptcy Settlement that is entered with the court and signed by a judge.  And For cost estimates and estimated environmental benefits the information should be supported by one of the following source documents:

            –          PROJECT; or

            –          Documentation in Site File. And/or                                                   

•           If the settlement contains provisions for injunctive relief, compliance activities, or response work, the type of action, value of action, and estimated environmental benefit resulting from the action must be entered on the Injunctive Relief/Compliance Activities side menu screen    to receive accomplishment credit.  The information entered on the Injunctive Relief/Compliance Activities side menu screen should be supported by one of the following source documents:

            –          Consent Decree;

            –          Judgement;

            –          Court Order; or

            –          Judicial or Bankruptcy Settlement that is entered with the court and signed by a judge.  And For cost estimates and estimated environmental benefits the information should be supported by one of the following source documents:

 

For CERCLA -

            –          Remedial Investigations/Feasibility Study;

            –          Record of Decision;

            –          Engineering Evaluation/Cost Analysis; or

            –          Action Memorandum;

 

For RCRA Corrective Actions -

–          Corrective Action Investigations; or

 

For all other programs -

–          Documentation in Site File.               

 

Judicial Conclusion Data Entry

            A judicial conclusion is entered into ICIS by first entering an ‘actual date’ for the ‘Complaint Filed with Court’ sub activity on the Sub Activities side menu screen.  Then by creating a new enforcement action conclusion (i.e., settlement) record with the Date Settlement Entered field completed and all other information required by ICIS and mandatory by OECA for accomplishment credit entered on the Enforcement Action Conclusion screen and on the side menu screens.  Accomplishment credit is not received for the intermediate phases of the judicial process such as the date the complaint is filed with the court and the Lodged date, but this data must be entered into ICIS to enter the judicial conclusion information.

 

Enter the following information that is mandatory by OECA for accomplishment credit on the Sub Activities Side Menu screen:

•                                            Complaint filed with Court ‘actual date’.                                                  

 

Enter the following information that is mandatory by OECA for accomplishment credit on the Defendant/Respondent/PRP Side Menu screen:

•            Defendant/Respondent Name; and

•            Named in Complaint/Order.             

 

Data Entry Tips/Anomalies          

 

–          At least one defendant/respondent/PRP must have a check mark entered in the Named in Complaint/Order check box before the system will allow the ‘actual date’ of the ‘Complaint Filed with Court’ sub activity to be entered.          

 

–          The ‘actual date’ of the ‘Complaint Filed with Court’ sub activity must be entered before the system will allow an enforcement action conclusion (i.e., settlement) record to be added.

 

 

Enter the following information that is required by ICIS on the Add Judicial Enforcement screen:

•            Settlement Name;

•            Action Type;

•            Date Settlement Lodged;

•            Defendants;

•            Statutes; and

•            Facility. 

 

Enter the following information that is mandatory by OECA for accomplishment credit on the Add Judicial Settlement screen:

•                                            Date Settlement Entered.  

 

            Data Entry Tips/Anomalies

 

–          If there are multiple settlements or CDs, a separate enforcement action conclusion (i.e., settlement) record should be entered for each. Differentiate between the settlements using the Settlement Name field.

 

–          Select only the defendant/respondent/PRP(s), statute(s), and facility(s) associated with each individual settlement.

 

                        If the settlement contains provisions for penalty or recovery of past or future response costs:

Enter the following information that is mandatory by OECA for accomplishment credit on the Penalty/Cost Recovery screen (if applicable):

•            Cash Civil Penalty Required (by Statute);

•            Federal Penalty Required;

•            State/Local Penalty Amount (if applicable);

•            Federal Cost Recovery Required (by Statute);

•            Federal Cost Recovery Required; and

•            State/Local Cost Recovery (if applicable).   

 

–          Data Entry Tips/AnomaliesEnter the individual statute-specific cost recovery and/or penalty amounts in the Federal Cost Recovery Required (by Statute) and/or Cash Civil Penalty Required (by Statute) fields.  Enter the total cost recovery and/or penalty amount in the Federal Cost Recovery Required and/or Federal Penalty Required fields.  For example, if there is cost recovery for only one program, enter the same value in both the statute-specific and Federal Cost Recovery Required fields.

 

      If the settlement contains provisions for a SEP:

Enter the following information that is mandatory by OECA for accomplishment credit on the Add SEP screen (if applicable):

 •             Is Environmental Justice Addressed by SEP?  The goal for EJ is to ensure that minority and/or low income groups and communities are not disproportionately placed at risk from environmental and/or human health threats.;

 •             SEP Description;

 •             SEP Category;

 •             PROJECT Model Value;

 •             Pollutants;

 •             Annual Amount;

 •             Units; and

 •             Media.

 
 
 

                                                           

      If the settlement contains provisions for injunctive relief, compliance activities, or response work:

Enter the following information that is mandatory by OECA for accomplishment credit on the Injunctive Relief/Complying Activities screen (if applicable):

•            Direct Environmental Reduction (Physical Actions);

•            Cost of Physical Action;

•            Pollutants/Chemical/Waste Stream;

•            Environmental Benefit Amount;

•            Units; and

•            Media Affected;

And/or                                               

•            Facility Management or Information Practice (Non-Physical Actions); and

•            Cost of Non-Physical Actions.

                       

Data Entry Tips/Anomalies

 

–          If a complying action is selected and a value for the non-physical action does not exist (i.e., an order for site access), enter $0 in the Cost of Non-Physical Actions field.

 

–          If the enforcement action is for CERCLA Remedial Design only (i.e., no Remedial Action), select ‘CERCLA RI/FS or RD’ from the Facility Management or Information Practice (Non-Physical Actions) field and enter the value in the Cost of Non-Physical Actions field.

 

Refer to Appendix III - Enforcement Action Field Definitions and Guidance for definitions and guidance specific to each field.

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